BaFin

Topic Measures Measures and sanctions by BaFin's Securities Supervision Directorate

On its website, BaFin makes public certain measures and sanctions which it has adopted due to contraventions of prohibitions and requirements in the sector of securities supervision or which have been made known to BaFin pursuant to section 335 (1d) of the German Commercial Code (Handelsgesetzbuch – HGB).

Non-anonymised publication

The following table provides a list of all cases of non-anonymised publication.

Anonymised publication

Under certain circumstances measures adopted by BaFin are made public on an anonymised basis. This is the case, for example, if publication would result in disproportionately large damage for the natural or legal person concerned. The following table provides an overview of all cases of anonymised publication:

updated on: 07.02.2018

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Publications on this topic

Maier + Part­ner Ak­tienge­sellschaft: BaFin im­pos­es co­er­cive fines

On 27 September 2018 BaFin imposed coercive fines in the amount of EUR 110,000 on Maier + Partner Aktiengesellschaft.

Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine against Read­crest Cap­i­tal AG

On 24 January 2018, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2.500 euros against Readcrest Capital AG.

Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine against VALENS Hold­ing AG

On 14 May 2018, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2.500 euros against VALENS Holding AG.

Deutsche Bank AG: BaFin or­ders mea­sures to pre­vent mon­ey laun­der­ing and ter­ror­ist fi­nanc­ing

On 21 September 2018, in order to prevent money laundering and terrorist financing, BaFin ordered that Deutsche Bank AG take appropriate internal safeguards and comply with general due diligence obligations. The issued order is based on section 51 (2) sentence 1 of the German Money Laundering Act (Geldwäschegesetz – GwG).

Unit­ed Pow­er Tech­nol­o­gy AG: BaFin threat­ens co­er­cive fines

On 17 September 2018 BaFin ordered United Power Technology AG to comply with the financial reporting requirements pursuant to sections 114 et seq. of the Securities Trading Act (WertpapierhandelsgesetzWpHG) and threatened coercive fines in the amount of EUR 110.000.

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